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NYSE Regulation Announces Disciplinary Actions For April 2010

Date 07/04/2010

NYSE Regulation, Inc. today announced its monthly disciplinary actions for April 2010.

NYSE Regulation takes disciplinary actions to enforce violations of NYSE, NYSE Arca and NYSE Amex rules and federal securities laws by member organizations, as well as current and former employees of those organizations.  Here is the link to the April 2010 announcement page:
http://www.nyse.com/DiscAxn/discAxn_04_2010.html

Today's announcement includes NYSE and NYSE Amex actions against the following respondents:

  • Israel A. Englander & Co., Inc.
  • Goldman Sachs Execution & Clearing, L.P.
  • James Gerard O'Callahan
  • Christopher S. Bier
  • Keith C. Arnold